Comprehensive Onboarding Workflow

Our comprehensive client onboarding workflow has four steps:

Behavioral Assessment Flow

Our mini-questionnaires makes behavioral finance easy to use. You can customize the flow and send a link to your clients to complete at home.

Multi-dimensional Risk Tolerance

Click here for Multi-dimensional Risk Tolerance Assessment.

Demonstrate Value: Analyze Prospect Portfolios

We use efficient frontier visualization to help you analyze the prospect’s portfolios. You will be able to show if risk is aligned and if the portfolio is efficient.

On this chart, it shows two prospect portfolio (gray circles): one with risk not aligned; the other one, although risk aligned, not on the efficient frontier. The red circles with stars are the proposed portfolios based on your models. Your value-add as an advisor is evident.

Investment Policy Statement (IPS)

Now the prospect becomes the client, it is time to generate the Investment Policy Statement.

On June 30, 2020, the Security and Exchange Commission’s Regulation Best Interest (Reg BI) goes into effect for broker-dealers, registered investment advisers, and dual registrants, making the IPS an indispensable part of the process.

A proper IPS tells the value-add story and the long-term story, establishing a solid foundation for a trusting relationship for years to come.


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